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Post# of 359151
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Investorman

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Investorman

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Re: fung_derf post# 193548

Wednesday, 11/16/2005 2:01:17 PM

Wednesday, November 16, 2005 2:01:17 PM

Post# of 359151
By submitting the request to have the certs issued, the broker is doing his part to comply with the client's wishes. I'm sure that if the TA refuses to honor the cert request, the broker will inform the SEC and apply pressure on the TA for the reason you stated. (It's not good for business if you refuse to comply with your clients wishes.)


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